Richard Sullivan
Richard Sullivan is a registered investment advisor at MML Investors Services, LLC, based in Orinda, CA, with 43 years of industry experience. Richard operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Retirement Planning. Their firm serves 392,809 clients with $90B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
MML Investors Services manages investment menus for retirement plans and offers a managed account service for participants.
For the overall plan, MMLIS selects and monitors investment options. For participants using the managed account service, fees are charged quarterly, up to a maximum of 0.60% per year of the account value. MMLIS receives 0.10% of this fee, with the remainder going to Morningstar and the recordkeeper. The exact fees vary by recordkeeper and whether the service is a Qualified Default Investment Alternative.
Location
2 Theatre Square, Suite 234, Orinda, CA, 94563
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Regulatory History (1)
Customer Dispute
May 2002Other Business ActivitiesSells Insurance
Richard is an insurance agent selling individual life/health and group life/health insurance since 1976. He dedicates a few hours per week to sales and service.
Employment History
Current Registrations
MML Investors Services, LLC
MML Investors Services, LLCBroker
Previous Registrations
G. R. Phelps & CO., INC.Broker
Green Hill Financial Service CorporationBroker
State Registrations8 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.